Successful implementation of compliance management

Core areas of the compliance management system (CMS)

• Responsibility of the compliance organization, responsibilities and resources.
• Operational planning and control of the CMS.
• Establishment and operation of key compliance processes (in-house compliance processes): Policy management, grant management, case management; business partner integrity management, compliance reporting.
• Compliance requirements for business partner checks incl. sanctions list checks.
• The requirements of the Supply Chain Due Diligence Act and the CS3D for companies.
• The national implementation of the EU Corporate Sustainability Reporting Directive (CSRD)
• The core areas of compliance (conflicts of interest, benefits, prevention of corruption, competition law).
• The key points of money laundering prevention.
• Liability of the compliance function.
• Dealing with compliance incidents, internal investigations, appropriate consequence management.
• Interaction with other management systems in the company (e.g. quality management, risk management).
• The central compliance guidelines.
• Presentation and discussion of the central compliance guidelines (benefits, corruption prevention, antitrust law).

Integration of the necessary compliance measures into the company's specialist processes

• Procedure and implementation for integration into the specialist processes.
• Dealing with the main compliance risks in purchasing and sales.

Excursus: Control and monitoring, effectiveness control

• Monitoring and evaluation (performance evaluation) of the compliance management system "lines of defense".
• Monitoring, measurement, analysis and evaluation of the compliance management system.
• Effectiveness control.